Evaluation workstream

AuthorFabien Roques - Helene Laroche
Com bined ret rosp ectiv e ev aluat ion and prosp ecti ve im pact asse ssmen t su ppor t st udy on Emission
Trad ing Syst em ( ETS) Stat e Aid Guidelin es
2. Evaluat ion w orkst ream
I n t his sect ion, we p resen t t he r esul ts o f t he ev alua tion wo rkst rea m t hat cov ers the ex-
post ev aluation of the EC policy on the indirect cost com pensat ion as per t he 2 012
Guidelines during Phas e I II . W e fi rst pr esent th e sco pe o f w ork for t his a ctiv it y an d t hen
th e main conclusions fr om each m em o. The m emos prepared for this w or kstream are
foun d as separ ate Annex es t o t his repor t.
2.1 Sco pe of w ork
The ini tial scop e of w or k for t h e evalu at ion wor kstream was t o provide in formation
ena blin g t he Comm issio n t o u pdat e Se ctio n 3 .5 “Su ppor t f or indi rect CO2 costsand the
lit eratu re review in clu ded in Section 3.4 Free allocat ion and carbon leak age of t he
evaluat ion r epo rt “ Evalu ati on o f t he EU ETS Di rect iv e” pub lish ed i n No vem ber 2 015 7 and
com mission ed b y t he EC in t he cont ext of the revision of t he ETS Dir ectiv e. Th e aim of
th is w ork w as to help the EC in the evaluat ion of the 2012 Guidelines during Phase I II.
Aft er the initial m eeti ng, th e EC sen t u s on the 1st of Apr il 2019 t he st ru ctur e of th e ne w
evaluat ion report and asked the Consor t iu m to provide inform at ion, data, and a
lit erat ure r eview enabli ng t he u pdat e of Sect ions 4 an d 5 of th is new report :
Sect ion 4 aims at pr oviding a tr ansparent accoun t of what has been done
du ring th e ev aluat ion pro cess of the p olicy im plem ent ed i n Phase I II. This
par t of the r eport also describes the sour ces used f or th e evalu at ion and
th e limit ations enco unt ered dur ing t he analy sis.
Sect ion 5 aims at answ er in g the evaluation quest ions. Th e object iv es of
Sect ion 5 ar e to ident ify pot ential fact or s that led to th e im plem ent at ion
or ot herw ise of the indirect cost compensation m echanism by som e
Mem ber Stat es. The rep ort also aims at assessing t he int ervent ion during
Phase I I I with a sp ecific focus on the ev aluation cr it er ia: eff ect iveness,
eff iciency, relevance, coher ence and EU add ed v alue.
We not e t ha t t he Cons ort ium w as n ot ask ed to cond uct t he eval uat ion of th e i nt erv ent ion
as th is is don e by th e EC team .
In order to sup port the EC in the ev aluat ion work of t he Guidelines, we have prepar ed
th ree mem os t hat pr ovid e in put s for Sect ions 4 an d 5 of th e ev aluat ion wor k ( lit erat ure
re view , dat a, and inf orm at ion fr om Mem ber St ates and pu bli c con sult at ion res pond ent s)
as follows:
Mem o on the l iter atu re r eview of carb on leak age;
Mem o on Member St at es implementation or other w ise of compen sation
schemes; an d
Mem o on pub lic consultation responses w ith a focu s on t he evaluat ion;
cri teria set out in Sect ion 4 of t he evaluat ion repor t.
We present in the foll owin g sect ions o ur w ork for each memo.
7 Umwe ltbu ndesam t f or t he EC (Nov ember 2 015), Evaluati on of th e EU ETS Direct ive,
available h er e :
ht tps: / / ec.europa.eu/clima/ sites/ clim a/files/ ets/ r ev ision/ docs/ r ev iew_ of _eu_et s_en.pf

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